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Shanxi Securities

山證國際金融控股有限公司

Shanxi Securities is the Hong Kong subsidiary of Shanxi Securities Co., Ltd., a mid-sized Chinese state-backed brokerage headquartered in Taiyuan, Shanxi Province. The firm offers a comprehensive suite of financial services including securities and futures dealing, corporate finance advisory, and asset management, serving as a bridge between mainland Chinese capital and Hong Kong markets. Its client base includes institutional investors, corporate clients, and mainland Chinese retail and high-net-worth individuals seeking access to Hong Kong and international markets. The firm's broad SFC licence portfolio reflects its ambitions to build a full-service investment banking and brokerage platform in Hong Kong.

220
Total licensed
39
Currently active
136
Arrivals tracked
112
Departures tracked

Licensed headcount

Active licence holders · monthly snapshot

Regulated activities

RA1 · Dealing in SecuritiesRA2 · Dealing in FuturesRA4 · Advising on SecuritiesRA5 · Advising on FuturesRA6 · Advising on Corporate FinanceRA9 · Asset Management

Country of origin · active staff

Inferred from name · current members only

🇨🇳China
23
🇭🇰Hong Kong
15

People

Active SFC licences
Name CE# Joined
KAN Pui Kei 簡培基
DealingCorp Finance
AVK7612026-05-06
SUN Naiwei 孫乃瑋
DealingCorp Finance
BXL2542026-05-06
ZHANG Jun 張珺
DealingFutures
BVY5542025-12-24
WANG Wei 王煒
DealingCorp Finance
BXF4842025-12-15
WANG Feng 王峰
DealingCorp Finance
BXC4382025-12-11
GAN Sulei 甘蘇磊
DealingFutures
BXA1652025-12-05
XU Kai 許愷
DealingCorp Finance
BVT9002025-12-02
WEI Xiao 魏瀟
Dealing
BXA8962025-12-01
SU Yuxuan 蘇宇軒
DealingFutures
BXC2392025-12-01
JIN Shixing 金士星
Dealing
BWS5032025-11-13
ZOU Wuqiu 鄒吳秋
DealingFutures
BAK9362025-09-10
CUI Shengchao 崔胜朝
Corp Finance
BKD0322025-08-15
LIAO Weiyi 廖維懿
DealingFutures
BHF0702025-07-18
LI Qiyuan 李启媛
AdvisingAdv.FuturesAsset Mgmt
BNQ5162025-07-14
CHEN Guoxun 陳國勛
DealingCorp Finance
BWK7882025-07-09
MA Li 馬莉
AdvisingAdv.FuturesAsset Mgmt
BWA5882025-06-18
WONG Kwok Yin 王國賢
Corp Finance
AOG8312025-06-16
YU Ruoyu 余若愚
DealingFutures
BSS9162025-04-10
YAN Yuen Cheung 甄琬翔
DealingFutures
BPV9182025-03-05
LI Zhen 李臻
DealingFutures
BUX1512025-01-14
YUE Quan 岳泉
Dealing
BVS2212025-01-13
LI Da 李達
Dealing
BVL2142024-11-04
LI Jianglei 李江雷
Dealing
BTU9422023-07-06
LIU Xuhai 劉旭海
Corp Finance
BSG3782023-06-08
NG Ka Sing 吳家星
Dealing
BDX9972022-11-15
LEUNG Yuk San 梁煜燊
DealingFutures
BMB6832021-05-07
ZHAO Xue 赵雪
Dealing
BQU7032021-03-16
LAM Siu Lai 林肇澧
DealingFutures
BQA6772020-09-28
YANG Xu 楊旭
Asset Mgmt
BPI5392020-05-26
TAM Ying Ho, Chester 譚英豪
DealingFutures
ADV0352020-04-07
LEE Ho Sing 李浩聲
DealingFutures
AKQ9212019-06-21
GUO Biao 郭彪
DealingFuturesAdvisingAdv.FuturesAsset Mgmt
AXK3212019-01-15
CHEN Shizhe 陳詩哲
DealingFuturesCorp Finance
BMR3572018-10-16
YANG Lijun 楊麗君
DealingCorp Finance
AXP5912018-08-22
GUO Zhen 郭震
DealingFutures
BJN5212017-12-20
LAM KWOK WA 林國華
DealingFutures
BGR1602017-06-02
SONG Qihu 宋启虎
AdvisingAdv.FuturesAsset Mgmt
BHN0142016-08-19
ZHANG Dingen 張丁恩
DealingFutures
BHO3952016-08-19
KONG Ki Fung 江琦峰
DealingFutures
AMF0542015-07-03